![Steven Carter, financial advisor La Jolla CA](/img/ws/profile-blank-sq.png)
Steven Carter (CRD# 1389126) is an Investment Advisor Representative working at Carter Financial, LLC in La Jolla, CA and has over 37 years of experience in the finance industry. Steven Carter has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
![Mark Richards, financial advisor La Jolla CA](/img/ws/profile-blank-sq.png)
CRD# 2730478
Madison Avenue Securities, LLC
CRD# 5621865
Lpl Financial LLC
CRD# 5084834
The Wealth Consulting Group
Company Name | Location | Dates | Years |
---|---|---|---|
Carter Financial, LLC | La Jolla, CA | Sep 2019 - Current | 4 |
Carter Financial Dba Of Lpl Financial, LLC | La Jolla, CA | Jul 1996 - Sep 2019 | 23 |
Lpl Financial Llc (f/k/a Linsco/private Ledger Corp.) | La Jolla, CA | Oct 1994 - Sep 2019 | 24 |
Exam Code | Name | Passed Date |
---|---|---|
S63 | Uniform Securities State Law Examination | Jun 1986 |
- CA
- TX
-
Total Assets Under Management223MILLIONS
-
Total Number of Accounts560ACCOUNTS
-
Average Account Value$398,620
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
CA, CO, TX
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